Investors potentially incurred losses because of securities broker Leslie D. Sprockett [CRD: 2886716, Elgin, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Sprockett worked for WRP Investments Inc. from June 11, 1997, to September 12, 2014, and has worked for StoneX Securities Inc. since September 12, 2014. Investors are encouraged to continue reading to find out more about disclosures involving Leslie Sprockett.
Specifically, a StoneX Securities Inc. client filed FINRA Arbitration No. 24-01797 about Leslie Sprockett. Mainly, the client alleged that Sprockett was negligent or made unsuitable recommendations involving non-traded real estate investment trusts (non-traded REITs). Because of this, the client allegedly experienced damages on those real estate securities. Consequently, on November 25, 2025, StoneX Securities Inc. settled this matter by paying the client $45,000.
Negligence involving non-traded real estate investment trusts can occur when a securities broker or financial advisor fails to use reasonable care when recommending these investments. Non-traded REITs are often illiquid and may carry significant risks, including limited access to investor funds and valuation concerns. Brokers may face allegations of negligence if they recommend these investments without fully considering a client’s investment objectives, risk tolerance, or financial situation.
Are you concerned about investments you made through Leslie Sprockett? You should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the country. Also, our securities lawyers work on a contingency fee basis and advance all costs. Sprockett and brokerage firms Sprockett worked for deny allegations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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